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Designing CPA Canada's QMG Cloud

Auvenir Technologies

2023

Enterprise SaaS/Finance

Research

Usability testing

Summary

The QMG Cloud, developed by Auvenir Technologies in collaboration with CPA Canada, revolutionizes Systems of Quality Management (SOQM) for audit firms. Key phases to design the QMG Cloud included research, prototyping, usability testing, and enhancements, resulting in a product that complies with the Canadian Standard on Quality Control (CSQM) while streamlining the SOQM process. The digital solution replaces cumbersome Word and Excel documents, offering an efficient and intuitive platform that has received high praise from industry professionals.

This case study's Discovery & Scoping section will cover the whole QMG Cloud project, but Design and Usability testing will focus on the risk assessment tables.

The final design of the Users Section of the Admin Portal.

Th final design of the Digitized Form 4.20: Risk Assessment.

The final design of the Digitized Form 6.20: Monitoring Activities.

The final design of the QMG Cloud Dashboard.

The final design of the Permissions section of the Admin Portal.

Context

In 2022, the Chartered Professional Accountants Association of Canada (CPA Canada) mandated compliance with the Canadian Standard on Quality Control (CSQM). This requirement meant that firms conducting specific audit engagements had to design and implement Systems of Quality Management (SOQM) and undergo annual assessments by CPA Canada. Compliance with CSQM was not just a regulatory obligation; it presented an excellent opportunity for firms to critically assess their quality risks and refine the policies and procedures to address them.

However, CPA Canada recognized the challenges firms faced with the existing SOQM process, primarily managed through cumbersome Word documents and Excel forms. To streamline that process, CPA Canada partnered with Auvenir to develop the QMG Cloud, a platform that digitizes and automates SOQM documentation and management.

Business requirements

Problem statement: CPA Canada's CSQM mandate requires audit firms to design and implement SOQMs, but the process is hindered by cumbersome Word and Excel documents.

Goal: to develop the QMG Cloud, a digital platform that streamlines SOQM documentation and management, enhancing efficiency, while ensuring compliance with the CSQM.

Objectives:

Digitize and automate a CSQM-compliant SOQM process.
Create an intuitive and user-friendly interface.
Integrate the QMG Cloud into the Auvenir ecosystem for a seamless experience, and to speed up
development.
Ensure scalability for future updates and features.

Timeline:

January 2023: Official project kick-off.
May 2023: Beta-testing.
July 2023: full launch of the app.

The non-digitized version (Excel) of Form 4.30: Risk Assessment.

A sample of a Working Paper in Auvenir's Audit Solution. This served as a template for designing the QMG Cloud forms.

Design

Building on defined user needs and journeys, we presented CPA Canada with three design options for the risk assessment tables, leading to a collaborative selection.

It is important to note that Exploration, Scoping and Ideation all happened during Tax Season: it's pretty impossible (and considered rude) to reach out to accountants and auditors during this time for insights. Therefore, we relied solely on the CPA Canada team's knowledge of the user base.

Option 1 - Flat view, spreadsheet-like table: mimics Excel, ensuring ease of transition for users accustomed to traditional spreadsheets. The dotted line represents the default horizontal cut-off line.
Option 2 - Digital table: a modernized version introducing digital form fields and collapsible rows, offering a cleaner, more organized view of data. The dotted line represents the default horizontal cut-off line.
Option 3 - Hybrid table:
combining elements of traditional spreadsheets with modern design, this option aimed to balance familiarity with innovation. The dotted line represents the default horizontal cut-off line.

Each design was meticulously evaluated by the CPA Canada team, considering the nuances of SOQM content and the experience they desired to give users. To help them make an informed decision we:

Highlighted the pros and cons of each approach.
Asked questions to gain deeper understanding of the data requirements.

They selected the Digital table, valuing its modern approach, and provided feedback for enhancements that were focused on:

Information architecture and improved content visibility.
User experience: expandable components and warnings.

Other influences on the design strategy

While this case study focuses on the end-to-end design process of the risk assessment tables, the following critical features and workflows significantly impacted the designs decisions:

Data differentiation: automatic vs. user-entered; static vs. CMS data.
Template utilization: leveraging the SOQM library vs. creating custom data.
Data import: strategies for importing from Excel.
Data manipulation: techniques for selection, copying, pasting, and deletion.
Interlinking data: ensuring coherence across forms.
Data highlighting: identifying missing or attention-needed data.
Data accessibility: enhancing through search, filtering, and sorting.
Common tool integration: streamlining with the enhancement of the Common Tools experience.
Data export: options for external use.

Usability testing

A crucial phase of the project was usability testing, involving 13 auditors from 7 firms. This was done for all the features of the QMG Cloud. For the risk assessment tables, testing was conducted remotely using Figma prototypes. This phase was instrumental in identifying and addressing user experience issues, particularly in UI design and information architecture.

Objectives:

Assess the user experience and interface design.
Identify information architecture issues.
Evaluate workflow logic and system performance.

Insights were collected and recorded in Notion, then evaluated and prioritized based on:

Severity: blocker, hindrance, adjustment, or suggestion.
Frequency: the occurrence rate of each issue.
Type: information architecture, workflow, logic, language, UI elements, or system performance.
Location: where the issue arose within the workflow.

The following critical issues were identified and rectified prior to the official launch:

Column visibility for linking: the table's width limited the visibility of columns crucial for linking data (UI Element).
Organization of risks and responses: challenges in identifying the component that risks, responses, and monitoring activities belong to (Information Architecture).
Text box space limitation: insufficient space in long-form text boxes hindered detailed input on risks and responses (UI Element).
Visibility of unlinked Risks: essential for reviewing completeness, the visibility of unlinked risks needed improvement (Functionality).
Visibility of quality objectives: enhancing the visibility of linked quality objectives within the risk table was critical (Information Architecture).

Critical enhancements

The following enhancements were made to address critical feedback from usability testing:

Access to the quality objectives, from the 4.30 table: the user can click on a button next to the component's title to reveal the quality objectives of that component.
A warning when the user selects a quality risk level that doesn't meet CSQM guidelines: the indicator's colour changes when the user marks the risk level as verified, and the warning disappears when the working paper is saved.
A dynamic text field: the height of a long-form text field automatically adjusts to the input text. When the default maximum height is reached, a scroll bar appears, as well as a button to override the default setting.

An example of a flat view, spreadsheet-like table in form 4.30. The first row is filled and the second row is empty. The dotted line is the horizontal scrolling cut-off line.

An example of a digital table in form 4.30. The first row is expanded to reveal the nested information. The second row is collapsed and empty. The dotted line is the horizontal scrolling cut-off line.

An example of a hybrid table in form 4.30. The first row is expanded to reveal the nested information. The second row is collapsed and empty. The dotted line is the horizontal scrolling cut-off line.

In the Beta of Form 4.30, the default view shows the components with risks. We reduced the width of the left side panel to maximize space in the main content area.

When the user expands a component, they see the associated risk. Furthermore, R.1 indicates that it is not linked to policies/procedures (responses).

The user can click on the "expand" button in the top-right corner of the table to see more content without scrolling to the right. The rows are collapsed by default.

To expand a row, the user clicks "Details" under the reference number. This reveals the secondary info.

When the user clicks on the GL component's "Quality Objectives" button, a panel slides in from the right, providing a full description of the GL quality objectives.

When the user selects a risk level that doesn't match CSQM guidelines, a warning appears and an indicator is placed on the source of the warning. The indicator's colour changes when the user verifies the risk level.

The different states of the dynamic text field: it automatically expands to hug the text, and when it hits the default max. height, the user can click a button to override the default setting.

Glowing reviews

Post-launch, the QMG Cloud received accolades from industry professionals. Testimonials highlighted its transformative impact, particularly in improving efficiency and clarity in workflows.

"This isn't just an upgrade; it's a transformative shift!" - Amy Sloat, CPA, CA, (Myriad Group Consultants)

"Tasks that took two months now wrap up in two weeks.” - Jordan Anderson, CPA, CMA (A1 Accounting Group)

"QMG Cloud brings clarity to workflows, enhancing productivity.” - Sara Jimenez, CPA, CA, CFF, CFE (SG LLP)

“Time savings of over 50 per cent against traditional approaches, freeing us for strategic initiatives.” - Idris Abelabu, CPA, ACCA, FCA, CISA (Clearhouse LLP)

Conclusion

The QMG Cloud project exemplifies how thoughtful design, user-centered research, and collaborative efforts can lead to innovative solutions in the field of auditing. By digitizing and simplifying complex processes, the app not only aligns with regulatory requirements but also enhances the overall quality management experience for auditors.

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